Articles Posted in Reg BI

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Sullivan (Sullivan), currently associated with D. Boral Capital, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $17,000.00 on July 21, 2021.

Client alleges failure to follow instructions and poor performance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Sessoms (Sessoms), currently associated with Mutual of Omaha Investor Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sessoms recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 21, 2021.

Clients alleged they incurred tax liability resulting from the representative’s guidance to sell company stock options in order to pay life insurance premiums. The firm’s review found no evidence of mishandling by the representative. To bring resolution to this matter, the insurance company rescinded clients’ fixed life insurance contracts with premiums refunded.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Kazlau (Kazlau), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kazlau recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 21, 2021.

Client alleges the RR misrepresented a variable insurance policy sold in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kristian Hernandez (Hernandez), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hernandez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 21, 2021.

The client alleges the RR misrepresented a variable insurance policy sold in 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Manners (Manners), previously associated with Cetera Advisors LLC, has at least one disclosable event. These events include one customer complaint, alleging that Manners recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $17,353.49 on July 21, 2021.

Client alleges that the fees and costs with the purchase of a variable life insurance policy were not explained to him and his wife prior to purchasing the policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Moore (Moore), currently associated with St. Bernard Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Moore recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $29,000.00 on July 22, 2021.

A customer was the owner and beneficiary of a variable annuity with a value of about $29,000. The customer wrote to the annuity carrier in Feb of 2020 and asked to cash out the annuity. Mr. Moore was unaware of this and did not assist in the surrender request. The annuity company honored the surrender request and sent a check. Fifteen months later, in May of 2021, an attorney writes to tell Mr. Moore that the Conservator, not the customer, but an unknown person, had a conservatorship on the customer and wants the money replaced. On July 8, 2021 The attorney filed suit in New London, CT court against Moore.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Peterson (Peterson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peterson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on July 22, 2021.

CLIENT’S ATTORNEY ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENTS 2018-2021

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Espinoza (Espinoza), currently associated with Innovation Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Espinoza recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $60,000.00 on July 20, 2021.

Breach of fiduciary duty, unsuitable recommendation, material misrepresentations and omissions. Transactions occurred early in 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ruben Frezzotti (Frezzotti), previously associated with Raymond James & Associates, INC., has at least one disclosable event. These events include one customer complaint, alleging that Frezzotti recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000,000.00 on July 22, 2021.

Claimants allege FA recommended unsuitable investments in an offshore fixed annuity whose issuer is no longer solvent and is under liquidation order. Allegation Activity Dates: 9/17/2007 to Present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Knudsen (Knudsen), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knudsen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on July 20, 2021.

CUSTOMER ALLEGES UNSUITABLE RECOMMENDATION OF MUNICIPAL BOND. ACTIVITY PERIOD – 12/19/18 TO 1/8/20.

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